SUMMARY
The Operations Manager will be responsible for establishing, managing, and strengthening the end-to-end operations,
transaction execution, compliance, customer service monitoring, and operational governance framework of
IndyaWealth. The role requires strong expertise in financial products, regulatory compliance, transaction processing,
customer service management, and operational risk controls. The individual will act as the central operational
backbone of the organization, ensuring seamless execution of all client transactions and service requests while
maintaining the highest standards of accuracy, compliance, and client experience. The ideal candidate should thrive in
a high-growth, entrepreneurial environment and demonstrate the ability to manage multiple concurrent priorities while
maintaining operational excellence under pressure.
KEY RESPONSIBILITIES
1) Transaction Verification & Operational Controls: Conduct Level 3 (L3) verification and authorization of client
transactions after branch-level verification (L0 & L1) and secondary review (L2); ensure maker-checker compliance;
monitor transaction movement and maintain audit trails; implement operational risk controls; ensure accurate and
timely execution across product lines; monitor transaction status, track exceptions, escalate critical issues.
Product-wise Transaction Processing & Execution: - Mutual Funds: Execute purchase, redemption, SIP, STP, SWP and
other transactions; coordinate with AMCs, RTAs and platforms. - Fixed Deposits: Process investments, renewals,
closures and related requests; coordinate with banks, NBFCs and issuers. - Loans: Coordinate sourcing,
documentation, processing, sanction, disbursement and follow-up; liaise with lending partners and clients. - Bonds:
Execute subscriptions, purchases, redemptions and maturity transactions; coordinate for settlement and documentation. - PMS & AIF: Manage onboarding, subscriptions, redemptions, capital calls and documentation; coordinate with fund
houses, custodians and service providers. - Unlisted Equity: Manage execution, documentation, settlement and
transfer; coordinate with counterparties and maintain records. - Demat & Trading Accounts: Process opening,
modification, closure and activation; coordinate with brokers, depositories and service providers. - Banking Concierge
Services: Oversee requests and documentation support; ensure timely completion and superior client experience.
2) Compliance & Regulatory Governance: Ensure adherence to KYC, AML and CFT regulations; maintain compliance
records; support audits; monitor regulatory developments; ensure compliance with SEBI, AMFI, APMI, RBI and other
authorities; support compliance controls and reviews.
3) Customer Service & Complaint Management: Monitor requests and complaints; ensure timely closure; manage
escalations; handle SCORES complaints and regulatory correspondence; coordinate issue resolution.
4) Certifications, Registrations & Regulatory Declarations: Manage annual AMFI and APMI self-declarations;
maintain NISM, AMFI and EUIN records; monitor renewals/expiries/deadlines; ensure timely declarations.
5) MIS, Reporting & Monitoring: Prepare daily/weekly/monthly MIS; track execution across products; monitor
volumes/pending/exceptions; maintain dashboards; present reports; generate insights.
6) Process Improvement & Operational Excellence: Develop and maintain SOPs; identify automation opportunities;
strengthen controls/governance/scalability; collaborate with business/technology/compliance; support branch
expansion and readiness.
TECHNICAL SKILLS
Wealth management and financial services operations
Transaction processing and operational controls
KYC, AML and CFT compliance
Mutual fund, broking, lending and investment product operations
CRM systems, transaction platforms and workflow management tools
Advanced Microsoft Excel and MIS reporting
Process design and operational governance
Strong attention to detail and accuracy
High integrity and compliance orientation
Excellent coordination and follow-up skills
Strong analytical and problem-solving ability
Customer-centric mindset
Ability to manage multiple stakeholders and priorities simultaneously
Ability to work effectively in a fast-paced, high-pressure environment with strict timelines and regulatory deadlines
Strong decision-making ability while maintaining operational controls and compliance standards
Ability to handle escalations, operational contingencies and critical client situations calmly and professionally
Ownership mindset with a strong bias for execution and timely closure of tasks
CERTIFICATIONS
NISM Certifications (Preferred)
AMFI Registration (Preferred)
APMI Certification (Preferred)
Other relevant financial market certifications (Preferred)
DESIRED CANDIDATE PROFILE
Educational Qualification: Graduate/Post Graduate in Finance, Commerce, Management or related discipline; MBA
(Finance/Operations) preferred.
Experience: 5–10 years in wealth management, mutual fund distribution, stock broking, financial services operations,
private banking operations, lending operations, or wealth-tech operations; experience handling multiple financial
products and regulatory compliance requirements; experience setting up and managing operational processes in a
growing organization preferred.
